Senior Compliance Manager - WpHG (f/d/m)

Trade Republic

Trade Republic

Lehi, UT, USA
Posted on Friday, May 10, 2024

Please note that the position is based in Germany.

Lighthouse for talent

At Trade Republic, we are on a mission to empower everyone to create wealth with easy, safe and free access to the financial system. With over four million customers we are the largest savings platforms in Europe, with users holding over €35 billion on our platform.

We are seen as the go-to-destination for top talent from across the globe. Everyday we strive to make Trade Republic a great environment to do the best work of your life, surrounded by exceptional, caring and passionate colleagues. In addition to learning and growing with a world-class team, you will build a destination for millions of people across Europe to create wealth.

About the team

The Compliance Function is responsible for supporting defining, implementing and maintaining a comprehensive control and monitoring framework for all Control Functions of Trade Republic. The key objective is to ensure that the Control Functions apply consistent terminology, standards and processes for risk control and risk reporting. This includes the establishment of an Internal Control System (ICS) framework and monitoring of adherence to its requirements. The integration of the overall control framework of Trade Republic, especially related to Operational Risk, Business Continuity Management, Compliance and Security is the main task.

What you’ll be doing

  • Definition of technical specifications on the subject of WpHG compliance as well as ongoing optimization of the relevant processes
  • Contact person for the management, employees and our customers as well as for auditors and authorities in all arising questions of securities law
  • Advising the departments in the areas of WpHG compliance, MiFID2/MiFIR and MAD/MAR in order to ensure monitoring of the enforcement of standards and legal provisions
  • Review and control of internal existing and new business processes and regulations with regard to legal and internal WpHG compliance requirements
  • Monitoring of compliance with regulatory requirements regarding record-keeping and retention obligations
  • Preparation of reports for management and regulatory authorities
  • Close collaborative cooperation with other departments, in particular Risk, Legal, Finance and People
  • Continuous training in securities trading and (WpHG) compliance
  • Experience in the crypto area would be a plus

What we're looking for

  • Successfully completed studies in economics, law or business law or comparable studies
  • Ideally, several years of professional experience in the area of WpHG compliance in auditing or consulting firms and the necessary expertise or in-depth knowledge of the relevant regulatory and legal requirements, and/or
  • Several years of professional experience in the banking or financial services industry
  • Knowledge of WpHG, MaComp, MaRisk and MaDepot as well as of the related European frameworks (MiFID, MAD, etc)
  • Interest in finance-oriented processes and systems
  • Good organizational and communication skills
  • Ability to manage multiple tasks in parallel under pressure
  • Analytical thinking and an independent, structured way of working
  • Ability to work in a team and pursue the interests of the company as a whole
  • Very good written and spoken German (C1 level) and English, other languages are an advantage

Why you should apply now

At Trade Republic you will get to do the best work of your career. We are a destination for people who are exceptional at what they do. Every day, we strive to build a world-class team and provide the space for people to do their best. We have a relentless ambition of raising the bar and expect the best from ourselves. Through our dedicated people-first management approach and transparent career paths, you will have the opportunity to develop and grow your career like never before. And because you are surrounded by a diverse team of high performers, you will be learning every day.

You will play an important role in fixing one of the largest challenges we face - closing the pension gap and democratizing wealth. Trade Republic is a place where your job, your career and your passions intersect. If this gets you fired up, just like it does for all of us at Trade Republic, then reach out!

Trade Republic embraces diversity and strives for equal opportunity for everyone. We are committed to building a team that represents a variety of backgrounds, characteristics, perspectives and skills. We encourage applicants of diverse gender, age, sexuality, religion, ethnicity, disability status and parental status to apply to our roles, or those from other intersecting minority groups not listed. The more diverse and inclusive we are as a team, the greater our work will be. If we can support you on DEI related questions during the interview process, please reach out to